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VP, Operations

Job ID: R-008446 Date posted: 12/24/2019 Primary Location SC-Fort Mill

The Vice President of  Operations will be directly responsible for the oversight and management of the Account Transfers processing departments.  This role will be located in Fort Mill, SC however this individual will will have oversight in both the Fort Mill and San Diego based operation groups.     

Essential Functions:

  • Strategic Leadership - This role requires interaction with multiple layers of management and will be a key contributor in strategic decision making as it relates to the Account Transfers department's growth and success. Must be able to communicate with key stakeholders within the organization on strategic thoughts and vision.  This individual will be responsible for career mentoring and overall development of department AVPs.  They will be required to hold management and department meetings and will conduct semiannual reviews.  They will be responsible to senior management for the development of a service oriented culture within the New Accounts department. 40%
  • Project Management - This role will be a key participant in numerous firm wide projects and initiatives and will need to be able to manage to multiple complex deliverables.  This individual will be responsible for the successful role out and implementation of firm wide projects as they relate to the Account Transfers department. 30%
  • Process/Workflow Management - This individual will be required to be continually engaged in identifying new and improved ways to process business that seeks to increase department efficiencies and reduce wasteful activities in an effort to enhance the value we provide to our customers.  This individual will be responsible for managing to resource planning models to ensure that FTE are aligned to the correct tasks.  10%
  • Budget and Regulatory Management - This individual will be responsible for ensuring alignment to department budget goals and will work to ensure that the department is working within regulatory guidelines. 10%
  • Issue Resolution - This role acts as a senior escalation point within the Account Transfers department and will be relied on to handle complex customer issues and deliverables. 10%

Job Requirements:

  • Minimum Education Required: Bachelor's Degree: Business Management
  • Minimum Experience Required: 7 - 9 years Financial Services Operations Management
  • Licenses/Certifications Required/Preferred: Series 7, 63 and 24 required
  • Software/Systems Skills Required/Preferred: MS-Office Required
  • Beta Preferred

Additional information:

The ideal candidate will have excellent regulatory knowledge (B&R and CIP etc.) and should have a solid understanding of General Broker Dealer back office operations. This individual will be required to analyze budgets, staffing and work requests to balance SLAs, risk advisor impacts and staff efficiency. Deals primarily with other internal LPL depts.

List any Soft Skills required for the position:

Will need to have excellent communication skills both with direct reports and with senior leadership. The ideal candidate should be a service minded individual and be able to handle complex customer issues with minimal intervention from senior leaders. Ability to multitask and manage to complex project deliverables is a must.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove